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Handbook of UNCITRAL Arbitration: Commentary, Precedents and Models for UNCITRAL Based Arbitration Rules 3rd ed

ISBN13: 9780414067134
New Edition ISBN: 9780414100213
Previous Edition ISBN: 9780414034297
Published: March 2019
Publisher: Sweet & Maxwell Ltd
Country of Publication: UK
Format: Hardback
Price: £285.00

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The Handbook of UNCITRAL Arbitration presents a practical, rule by rule guide to the UNCITRAL Arbitration Rules, offering in-depth commentary, analysis and support materials as used in both commercial and investment arbitration. It reviews each stage of the UNCITRAL arbitration process, from the arbitration clause, through the arbitral proceedings, to the award.

New to edition:

  • Reflects the arbitral awards and state court decisions published in the last four years
  • Includes the 2016 UNCITRAL Notes on Organizing Arbitral Proceedings
  • Discusses the application of the various IBA Rules and Guidelines as reflected in the 2016 IBA Report on Soft Law
  • Covers current trends to manage arbitration procedure, in particular, bifurcation of issues
  • Features a table of challenge decisions regarding arbitrators rendered by institutions and courts
  • Focuses on the latest trends as to awarding of costs and for security for costs

Arbitration and Alternative Dispute Resolution

Section 1
Introductory rules
Article 1 Scope of Application
Article 2 Notice and Calculation of Periods of Time
Article 3 Notice of Arbitration
Article 4 Response to the Notice of Arbitration
Article 5 Representation and Assistance
Article 6 Designating and Appointing Authorities

Section 2
Composition of the arbitral tribunal
Article 7 Number of Arbitrators
Article 8 Appointment of Arbitrators (Sole Arbitrator)
Article 9 Appointment of Arbitrators (Three Arbitrators)
Article 10 Appointment of Arbitrators (Multiparty Arbitration)
Article 11 Disclosures by and Challenge of Arbitrators (Disclosure)
Article 12 Disclosures by and Challenge of Arbitrators (Challenge of Arbitrators)
Article 13 Disclosures by and Challenge of Arbitrators (Challenge Procedure)
Article 14 Replacement of an Arbitrator
Article 15 Repetition of Hearings in the Event of the Replacement of an Arbitrator
Article 16 Exclusion of Liability

Section 3
Arbitral proceedings
Article 17 General Provisions
Article 18 Place of Arbitration
Article 19 Language
Article 20 Statement of Claim
Article 21 Statement of Defence
Article 22 Amendments to the Claim or Defence
Article 23 Pleas as to the Jurisdiction of the Arbitral Tribunal
Article 24 Further Written Statements
Article 25 Periods of Time
Article 26 Interim Measures
Article 27 Evidence
Article 28 Hearings
Article 29 Experts Appointed by the Arbitral Tribunal
Article 30 Default
Article 31 Closure of Hearings
Article 32 Waiver of Right to Object

Section 4
The award
Article 33 Decisions
Article 34 Form and Effect of the Award
Article 35 Applicable Law, Amiable Compositeur
Article 36 Settlement or Other Grounds for Termination
Article 37 Interpretation of the Award
Article 38 Correction of the Award
Article 39 Additional Award
Article 40 Definition of Costs
Article 41 Fees and Expenses of Arbitrators
Article 42 Allocation of Costs
Article 43 Deposit of Costs
Annex Model Arbitration Clause for Contracts
Possible Waiver Statement
Model Statements of Independence Pursuant to Article 11 of the Rules

II— UNCITRAL Rules on Transparency in Treaty-Based Investor-State Arbitration
Introductory Remarks
Article 1(4) of the UNCITRAL Arbitration Rules
Article 1: Scope of application
Applicability of the Rules
Application of the Rules
Discretion and authority of the arbitral tribunal
Applicable instrument in case of conflict
Application in non-UNCITRAL arbitrations
Article 2: Publication of information at the commencement of arbitral proceedings
Article 3: Publication of documents
Article 4: Submission by a third person
Article 5: Submission by a non-disputing Party to the treaty
Article 6: Hearings
Article 7: Exceptions to transparency
Confidential or protected information
Integrity of the arbitral process
Article 8 : Repository of published information
Draft Convention on Application of the UNCITRAL Rules on Transparency

III—Models and Examples
Introductory Remarks
Document 1: Notice of Arbitration (S.D. Myers Inc. v Canada)
Document 2: Response to the Notice of Arbitration [not reproduced]
Document 3: Terms of Appointment (X (Canada) v Y (Scotland))
Document 4: Application to the PCA to Designate an Appointing Authority (X (Canada) v Y (Scotland))
Document 5: PCA Letter Inviting Comments From the Respondent on the Designation of an Appointing Authority (X (Canada) v Y (Scotland))
Document 6: Respondent’s Comments With Respect to the Designation of the Appointing Authority (X (Canada) v Y (Scotland))
Document 7: Letter from the PCA Informing the Parties of the Designation of an Appointing Authority (X (Canada) v Y (Scotland))
Document 8: Designation of the Appointing Authority by the PCA (X (Canada) v Y (Scotland))
Document 9: Claimant’s Request that the Appointing Authority make use of the list procedure provided for in Article 8(2) (X (Canada) v Y (Scotland))
Document 10: Letter from the PCA Confirming the Use of the List Procedure for the Designation of the Presiding Arbitrator (X (Canada) v Y (Scotland))
Document 11: Respondent’s Letter to the Appointing Authority Providing Comments with Respect to the Choice of Presiding Arbitrator (X (Canada) v Y (Scotland))
Document 12: Claimant’s Reply with Respect to Respondent’s Comments (X (Canada) v Y (Scotland))
Document 13: Respondent’s Reply to Claimant’s Letter of August 18, 2006 (X (Canada) v Y (Scotland))
Document 14: Submission of Comments on a List of Possible Arbitrators to the Appointing Authority (X (Canada) v Y (Scotland))
Document 15: PCA Letter Informing the Parties that the Appointing Authority has Appointed the Presiding Arbitrator (X (Canada) v Y (Scotland))
Document 16: Appointment of the Presiding Arbitrator by the Appointing Authority (X (Canada) v Y (Scotland))
Document 17: Excerpt From a Decision on Challenge by the LCIA as Appointing Authority (National Grid PLC v Republic of Argentina)
Document 18: Order Regarding Production of Documents (Bilcon of Delaware et al v Government of Canada)
Document 19: Form of Request of Documents, With Answers and the Decision of the Tribunal in Tabular Form (X v Y)
Document 20: Several Basic Procedural Orders (S.D. Myers v Canada)
Document 20B: Sixth Procedural Order (S.D. Myers v Canada)
Document 20C: Ninth Procedural Order (S.D. Myers v Canada)
Document 21: Statement of Claim (S.D. Myers v Canada)
Document 22: Statement of Defence (S.D. Myers v Canada)
Document 23: Excerpts from the Partial Award on Liability (S.D. Myers v Canada)
Document 24: Excerpts from the Partial Award on Quantum (S.D. Myers v Canada)
Document 25: Excerpts from the Final Award on Apportionment of Costs (S.D. Myers v Canada)
Document 26: Judgment on Application for Judicial Review in Canada (S.D. Myers v Canada)
Document 27: Consent Award (TCW Group v the Dominican Republic)
Document 28: Termination Order (X (Switzerland) v Y (Uganda))

IV—Supporting Material
1. Text of UNCITRAL Arbitration Rules as revised in 2010 with amended art.
1(4) as adopted in 2013 with the Rules on Transparency
2. Comparison of the 1976 UNCITRAL Rules with the 2013 Rules
3. UNCITRAL Notes on Organizing Arbitral Proceedings [not reproduced]
4. New York Convention
5. UNCITRAL Model Law
6. Excerpt from the Swiss Private International Law Act
7. Excerpt from the French Code of Civil Procedure
8. Excerpt from the English Arbitration Act 1996
9. Excerpt from the US Federal Arbitration Act
10. IBA Rules on the Taking of Evidence in International Arbitration (2010)
11. IBA Guidelines on Conflicts of Interest in International Arbitration (2014)
12. IBA Guidelines on Party Representation in International Arbitration (2013)
13. International Law Association Recommendations regarding Res Judicata and Lis Pendens (2006)
14. International Law Association Recommendations regarding Ascertaining the Contents of Applicable Law in International Commercial Arbitration (2008)